Susan M. Wilson-perez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Susan Mildred Wilson-perez, who also goes by Susan Wilson Perez, Susan M Wilson, Susan Mildred Wilson Perez, Susan M Wilsonperez, Susan Mildred Wilsonperez, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1983. Susan had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - March 14, 2019
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
January 7, 2014 - March 14, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
January 11, 2012 - March 14, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
June 1, 2009 - January 13, 2012
MORGAN STANLEY
December 19, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 18, 1995 - February 22, 1996
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 31, 1993 - March 21, 1995
CITIGROUP GLOBAL MARKETS INC.
February 18, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
June 22, 1983 - March 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506 / SEC#: , 8-42582
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SENNE, ANN MARIE | DIRECTOR | 2515669 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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